RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
- M••••• S•••••• wirehouse currentsince Sep 5, 2023 · Alpharetta, Ga
- E•••••• C•••••• M••••••••• L•• formerNov 23, 2021 to Sep 5, 2023 · Alpharetta, Ga
- S••••• C•••••• M••••••••• L•• independent RIAMar 24, 2015 to Dec 31, 2020 · Alpharetta, Ga
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Mar 14, 2013 · Alpharetta, Ga
- M••••• K••••• • C••••••• L•• formerDec 23, 2008 to Feb 13, 2013 · Alpharetta, Ga
- C•••••• S••••• • C••• I••• national BDJun 23, 2008 to Dec 18, 2008 · Atlanta, Ga
- A••••••• A•••• M••••••••• I••• mixed wealthApr 10, 2007 to Feb 1, 2008 · Greenville, Sc
- U•• F•••••••• S••••••• I••• wirehouseJan 17, 2003 to Feb 24, 2004 · Atlanta - Buckh, Ga
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- S••••• C•••••• M••••••••• L•• to E•••••• C•••••• M••••••••• L••left Dec 31, 2020, registered Nov 23, 2021 (327 days) · RIA to RIA
- R•••••• J•••• • A••••••••• I••• to S••••• C•••••• M••••••••• L••left Mar 14, 2013, registered Mar 24, 2015 (740 days) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to M••••• K••••• • C••••••• L••left Dec 18, 2008, registered Dec 23, 2008 (5 days) · Other
- A••••••• A•••• M••••••••• I••• to C•••••• S••••• • C••• I•••left Feb 1, 2008, registered Jun 23, 2008 (143 days) · Other
- U•• F•••••••• S••••••• I••• to A••••••• A•••• M••••••••• I•••left Feb 24, 2004, registered Apr 10, 2007 (1141 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address